Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allen? Claim Your ProfileAllen Lu is a registered investment advisor representative with Cetera Investment Advisers LLC. Allen has been in the financial services industry for over 20 years. Allen holds licenses Series 63, Series 66, Series 7 and SIE. Prior to joining Cetera Investment Advisers LLC, Allen was associated with TD Ameritrade, Inc., Scottrade, Inc., and White Pacific Securities, Inc. Allen specializes in providing financial planning, pension consulting, educational seminars, and portfolio management for individuals and businesses. Allen has a proven track record of success and is dedicated to providing his clients with the highest level of service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
02/11/2020 - Present
Cetera Investment Advisers LLC (SAN FRANCISCO CA)
CA
02/26/2018 - 05/03/2019
TD AMERITRADE, INC. (MILPITAS CA)
CA
02/01/2006 - 02/26/2018
SCOTTRADE, INC. (SAN JOSE CA)
CA
12/03/2002 - 01/20/2006
WHITE PACIFIC SECURITIES, INC. (SAN FRANCISCO CA)
CA
08/14/2000 - 06/06/2002
WHITE PACIFIC SECURITIES, INC. (SAN FRANCISCO CA)
BOTH
Issued 05/18/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/09/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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